SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol Hewlett Packard Enterprise Co [ HPE ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 11/02/2016 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 11/02/2016 | M | 174,641 | A | $22.02 | 629,177 | D | |||
Common Stock | 11/02/2016 | F | 85,391 | D | $22.02 | 543,786 | D | |||
Common Stock | 66(1) | I | By Living Trust |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (2) | 04/06/2016 | A | 736.2687(3) | (3) | (3) | Common Stock | 736.2687 | (3) | 91,160.3314 | D | ||||
Restricted Stock Units | (2) | 04/06/2016 | A | 1,063.8193(4) | (4) | (4) | Common Stock | 1,063.8193 | (4) | 129,347.528 | D | ||||
Restricted Stock Units | (2) | 11/02/2016 | M | 174,641(5) | (5) | (5) | Common Stock | 174,641 | (5) | 349,280 | D | ||||
Restricted Stock Units | (2) | 04/06/2016 | A | 1,860.0922(6) | (6) | (6) | Common Stock | 1,860.0922 | (6) | 221,528.404 | D |
Explanation of Responses: |
1. There is no reportable change since the last filing. This is a reiteration of holdings only. |
2. Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
3. As previously reported, on 12/11/13 the reporting person was granted 144,498 restricted stock units ("RSUs"), 48,166 of which vested on 12/11/14, 48,166 of which vested early on 09/17/15, and 86,628 of which will vest on 12/11/16. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 736.2687 dividend equivalent rights being reported reflect 265.2862 dividend equivalent rights at $17.96 per RSU credited to the reporting person's account on 04/06/16, 258.9424 dividend equivalent rights at $18.40 per RSU credited to the reporting person's account on 07/06/16, and 212.0401 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16. |
4. As previously reported, on 12/10/14 the reporting person was granted 104,390 RSUs, 34,796 of which vested early on 09/17/15, 62,583 of which will vest on 12/10/16, and 62,584 of which will vest on 12/10/17. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 1,063.8193 dividend equivalent rights being reported reflect 383.3065 dividend equivalent rights at $17.96 per RSU credited to the reporting person's account on 04/06/16, 374.1405 dividend equivalent rights at $18.40 per RSU credited to the reporting person's account on 07/06/16, and 306.3723 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16. |
5. As previously reported, on 11/02/15 the reporting person was granted 517,598 RSUs, 172,532 of which vested on 11/02/16, and 172,533 of which will vest on each of 11/02/17 and 11/02/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 1,585.0718 dividend equivalent rights at $17.96 per RSU credited to the reporting person's account on 04/06/16, 1,547.1679 dividend equivalent rights at $18.40 per RSU credited to the reporting person's account on 07/06/16, and 1,266.9288 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16. The number of derivative securities in column 5 also includes 2,109 vested dividend equivalent rights accrued but not released since the grant date, and a de minimus adjustment of 0.3254 shares due to the rounding of fractional shares. |
6. As previously reported, on 12/09/15 the reporting person was granted 218,855 RSUs, 72,951 of which will vest on 12/09/16, and 72,952 of which will vest on each of 12/09/17 and 12/09/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 1,860.0922 dividend equivalent rights being reported reflect 670.2130 dividend equivalent rights at $17.96 per RSU credited to the reporting person's account on 04/06/16, 654.1861 dividend equivalent rights at $18.40 per RSU credited to the reporting person's account on 07/06/16, and 535.6931 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16. |
Remarks: |
Derek Windham as Attorney-in-Fact for Margaret C. Whitman | 11/03/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |